| Advisor Profile |
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| Name: |
Derek Hassenpflug, CFP®, ChFC® |
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Business Description |
I provide my clients with a personalized and detailed financial plan designed to protect and preserve wealth while providing a reliable income source during non-working years
I accomplish this by guiding clients in the protection, accumulation, and distribution of their wealth to help them obtain the capital they require to live the lifestyle they want. |
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General Information |
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| Years of Experience in Financial Services: |
6
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Services |
| Investment Types: |
Stocks Mutual Funds, Bond Mutual Funds, Bonds, Stocks, Annuities, International Investments, Options, Real Estate, Alternative Investments
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Financial Consultant, Certified Financial Planner, Series 65, Series 63, Certified Fund Specialist, Series 7, Insurance License (Life & Health; Long Term Care; Specify below)
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Firm Information |
| Number of Advisors in Office: |
Over 1000 employees
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| Assets Managed by Firm: |
Yes
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Compensation & Fees |
| Fee % Based on Assets: |
1.25%
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| Additional Details on Charges: |
Financial Planning Engagement and Disclosure Form is available upon request
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| Prepared By: |
Derek Hassenpflug, CFP®, ChFC® |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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No, however contracts are never used in the deliver or retention of services. The business relationship may be terminated at anytime by either party with written notification. |
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What are your qualifications? What is your education background? |
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CERTIFIED FINANCIAL PLANNER, practitioner
Financial Planning Engagement Disclosure Form available upon request
NASD Series 7 (General Securities Representative)
NASD Series 66 (Uniform State Combined Exam)
NASD Series 31 (Futures Managed Funds)
NASD Series 24 (General Securities Principle)
NASD Series 04 (Registered Options Principle)
NASD Series 9/10 (General Securities Sales Supervisor) |
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What is your approach to financial planning? |
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First, we talk about your hopes and expectations. Then, by crafting a flexible, yet comprehensive plan, we help you:
Pinpoint your needs and goals.
Analyze your overall financial situation.
Identify your timeframes and your tolerance for risk.
Implement the plan and review your investment performance on an ongoing basis.
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| Q. |
What services do you offer? |
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Asset Management
Retirement Incoming Planning
Risk Management |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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How are you compensated? How will I pay for your services? |
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Fees and/or commissions
All fees and fee structures are disclosed in writing prior to engaging in a professional relationship.
Financial Planning Engagement and Disclosure Form is available upon request |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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Risk tolerence is individual and depends on many factors including your personal feeling toward gain and loss, goals. and timeframe.
We will work together to determine what your risk tolerance is and monitor it annually for any changes. |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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I strive to solve complex wealth distribution and income replacement challenges through personalized risk and asset management techniques. |
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What is your experience? How many clients do you currently manage? |
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CERTIFIED FINANCIAL PLANNER, practitioner
Financial Planning Engagement Disclosure Form available upon request
I currently manage about 80 households. The maximum number of clients I wish to serve is about 125 |
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| Q. |
What financial institution(s) do you represent? |
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How do you charge for your services? |
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Fees and/or commissions
All fees and fee structures are disclosed in writing prior to engaging in a professional relationship.
Financial Planning Engagement and Disclosure Form is available upon request |
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Do you provide a free initial consultation? |
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Yes, The initial consultation and review is complimentary. During that meeting I am generally able to determine the complexity of the case and whether or not it is one that makes sense accepting. |
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Why should I choose you as my financial advisor? |
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I provide personalized service to a select number of individuals and use sound financial planning principles to help them reach their financial goals |
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